Kate Saltz

Oct 8, 2024 | lexology.com | Eric R. Markus |Scott H. Kimpel |Kate Saltz |James Davidson

What HappenedOn September 25, 2024, the Securities and Exchange Commission (the SEC) announced that it had instituted and settled enforcement actions under Section 13(d), Section 13(g) and Section 16(a) of the Securities Exchange Act of 1934 (as amended, the Exchange Act).

Oct 16, 2023 | lexology.com | James Davidson |Kate Saltz |Scott H. Kimpel |Eric R. Markus

On September 27, 2023, the Securities and Exchange Commission (the “SEC”) announced settled enforcement actions against six officers, directors and major shareholders of various public companies for allegedly failing to timely report information about their holdings and transactions in company stock, and simultaneously announced settled actions against five public companies for allegedly causing these insiders’ filing failures or for failing to report their insiders’ filing delinquencies.